RULE 4 Relating to the use of Rebate FundsRULE 5 Relating to the rotation of Host State
RULE 6 Relating to host site selection
RULE 7 Relating to acceptance of waste
RULE 8 Relating to assessment of fees for funding costs
RULE 9 Relating to assessment of fees for CIF
POLICY STATEMENT Relating to administrative fee
RULE 10 Report of waste generated for disposalRULE 21 Relating to filing a court action against the CIC
RULE 23 Relating to the withdrawal of a member state
RULE 24 Relating to the admission of new members states
RULE 27 Public notice and announcment procedures
RELATING TO THE USE OF REBATE FUNDS
4.1 GENERAL
Any surcharge rebate funds received by the Commission after January
1, 1988, from the U.S. Department of Energy in accordance with the
Low-Level Radioactive Waste Policy Amendments Act of 1985 (Public
Law 99-240), may, in the discretion of the Commission as guided by this
Rule, be made available by the Commission to any party state which
has been selected and is in the process of becoming a host state for a
regional facility as designated by the Commission. Any state receiving
such funds shall submit to the Commission any and all accounting for
such funds as may be necessary to conform to the requirements of
Commission Rules 4.2 and 4.3, Public Law 99-240, and the U.S.
Department of Energy.
4.2 USE OF REBATE FUNDS BY A MEMBER STATE
A. REQUEST FOR FUNDS AND APPROVAL PROCEDURES
The member state requesting funds for reasonable and necessary Rule
4.2 expenses of the Host State shall submit to the Commission an
annual proposed budget request for use of a specific amount of neededfunds by April 1 prior to each fiscal year July 1 through June 30) [except
that the Commission may alter that submission date for fiscal year
1995-96 to address and resolve timing problems for that fiscal year) on
forms usually and customarily used by the member state in its normal
state budget request process. The request should identify in detail how
the member state proposes to expend the requested surcharge rebate
funds in the fiscal year for locating and licensing a regional waste
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management facility and/or a regional waste minimization program.
The Commission will review and approve all or part of the budget
request and will distribute to the Host State surcharge funds held by the
Commission if the Commission finds that the proposed expenditure(s)
of the Host State meet the purposes described in this rule. The initial
disbursement on or about July 1 shall be for 25% of the annual amount
approved. The remainder of the disbursement shall be transferred on a
quarterly basis to the host state commencing October 1. In deciding
whether or not to approve any such Host State request, the
Commission may consider:
(1) the adequacy and completeness of prior accounting for and
actual expenditures of such surcharge rebate funds;
(2) the amount of surcharge rebate funds still held and unspent by
the member state from prior disbursement of such funds;
(3) the availability to the member state of funding for proposed uses
through alternative sources, including reimbursements, fees, or
surcharges collected by the Host State from license applicants,
State appropriations, or federal funds;
(4) the consistency of the proposed uses with the limitations and
requirements of this rule and federal law; and
(5) any competing needs of the Commission consistent with said
federal statutory requirements, those being the following
purposes:
(i)to establish low-level radioactive waste disposal facilities;
(ii)to mitigate the impact of low-level radioactive waste
disposal facilities on the host state;
(iii) to regulate low-level radioactive waste disposal facilities;
or
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(iv)to insure the decommissioning, closure and care during the period of institutional control of low-level radioactive waste disposal facilities.
A.1 USES OF FUNDS BY MEMBER STATE
Any member state requesting funds from the Commission
pursuant to this Rule, shall request and, if granted, use such funds
only for the purposes associated with locating and licensing a
regional waste management facility and/or a regional waste
minimization program. Such use of funds may include, but not be
limited to, the conduct of geological and technical studies relating to
the siting of such a facility, the employment of technical staff and/or
contractors for the purpose of reviewing a license application, a
public outreach program related to the location of such a facility and
those tasks associated with the review of a license application.
B. ACCOUNTING, REPORTING AND AUDITING
The Host State shall keep separate financial records to account for all
receipts, expenditures, and all other transactions involving use of the
surcharge rebate funds. Such records together with all contracts and
documentation supporting the accounting transactions, shall at all
times be subject to inspection by the Commission with 5 business days
advance notice.
The Host State shall, within 30 days after the close of each calendar
quarter, file with the Commission a financial report in reasonabledetail of all receipts and expenditures of all direct and indirect use of
the surcharge rebate funds and all transactions involving the surcharge
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rebate funds. The financial report will contain sufficient detail to
identify: (1) personnel costs, including the identification, the nature of
the task or work performed, the number of hours worked, (2) any
travel, lodging, or conference expenses of personnel using any
surcharge rebate funds, (3) operating expenses, (4) capital outlays,
(5) the exact identification of all other expenditures or uses of the
surcharge rebate funds, and (6) any contractual commitments,
including a copy of the contract with all amendments, and a narrative
status of each contract, including the total amount of the contract, any
related contractual payments and the remaining obligation to date of
the report.
The financial report of the use of the surcharge rebate funds will
present the fund balance at the beginning of the reporting period, all
revenue and expenses during the reporting period, and the fund
balance, at the end of the reporting period.
The Host State may encumber sufficient surcharge rebate funds in its
possession to cover incurred year-end expenses not paid by June 30 but
due and payable within the next 30 days. Within 30 days after the end
of the fiscal year, the Host State shall return to the Commission all
surcharge rebate funds not expended nor so encumbered as an
unexpended balance.
For Commission purposes, on an annual basis, the Host State financial
report will be prepared and submitted in the same level of detail
described above, shall be subject to audit procedures, and reported
thereon by an independent certified public accountant. The Host State
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shall annually, within 90 days after the close of each fiscal year, file
with the Commission a copy of the Host State's annual financial report,
accompanied by the audit report of the independent certified public
accountant. if the Host State does not elect to use the services of an
independent certified public accountant for the purposes of submitting
to the Commission an annual audited financial report, then the
Commission shall obtain the services of an independent certified
public accountant in place of the Host State's accountant for the same
reporting purposes. The Commission shall use the services of an
independent certified public accountant for the Host State financial
report, and the cost shall first come from the Host State's surcharge
rebate funds then, if necessary, from surcharge rebate funds held by the
Commission.
The certified public accountant's audit report(s) shall address the Host
State's compliance with Commission Rule 4 governing the nature or
purpose for which funds may be expended or applied. The Host State
shall promptly, within 60 days of Commission determination, remit to
the Commission from state funds (non-surcharge rebate funds) the
amount of any funds expended for purposes which do not comply with
Commission Rule 4, as determined by the Commission, after review
and consideration of the audit report.
For Department of Energy purposes, annually on December 31st of
each year, any member state that has received surcharge rebate funds
pursuant to Rule 4, shall make a full and complete reporting to the
Commission on Department of Energy forms of the use of those funds
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during the previous calendar year. These reports shall be made for
purposes of complying with U.S. Department of Energy requirements.
4.3 IMPROPER EXPENDITURES
Any member may challenge the legitimacy of any expense submitted by
a state receiving funds under Rule 4. if such a challenge arises, the
Commission shall at a special meeting determine the sufficiency of the
challenge, and issue a ruling concerning the legitimacy of the
expenditure. The Commission may request any documentation
required to make an informed decision and any state requested to
provide documentation shall submit such documentation.
If the Commission finds that an expenditure is not legitimate, the
Commission may rule that the offending state must repay the entire
amount of such expenditure or a portion thereof. Failure by such state
to repay in accordance with a ruling of the Commission, shall place the
state in a position of being found in violation of its duty to perform its
obligation under the terms of the Compact.
Adopted 4-24-84 Amended 6-8-87, Amended June 15, 1995
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